Transatlantic regulatory roundup: differences in SEC and FCA regulation of fund advisers
18.07.2024 – Contributors
On this Ropes & Gray podcast, join asset management partners Eve Ellis and Jason Brown as they delve into key regulatory issues impacting clients with interests in both the United States and Europe. Specifically, they explore the differences in how the U.S. Securities & Exchange Commission (SEC) and the U.K. Financial Conduct Authority (FCA) supervise and regulate fund advisers. They compare and contrast the differing approaches to registration, oversight, and examination. Additionally, they highlight some of the current priorities for both the SEC and the FCA.
Listen to the podcast and read the original article here.
(Originally published on June 17th 2024)
Show Notes:
Eve Ellis: Hello, and thank you for joining us today on this Ropes & Gray podcast—Asset Management Transatlantic Regulatory Roundup. I’m Eve Ellis, an asset management partner in our London office, specializing in private fund regulation. Joining me today is my colleague Jason Brown, an asset management partner in our Boston office, and co-head of our private fund regulatory group.